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Investor Protection Bureau

The Investor Protection Bureau is charged with enforcing the New York State securities law, commonly known as the Martin Act. The Martin Act gives the Attorney General broad law-enforcement powers to conduct investigations of suspected fraud in the offer, sale or purchase of securities. Where appropriate, the Attorney General may commence civil and criminal prosecutions under the Martin Act to protect investors. The Bureau also protects the public from fraud by requiring brokers, dealers, securities salespersons and investment advisers to register with the Attorney General's Office. The Bureau's other major responsibilities include the registration of franchisors and enforcement of the Franchise Law to protect franchisees.